FINRA
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FINRA Announces the results of Mutual Fund Fee Waiver Initiative
- July 26, 2019
- Posted by: giawatkins
- Category: FINRA
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Earlier this week, FINRA Announced the results of its Mutual Fund Fee Waiver Initiative. CFI helped nearly a dozen of these Firms with efficient Data Analytics remediations. Equally as important, CFI is working with Firms to provide sustainable supervisory solutions to ensure there are no recidivist problems on future exams. BDs and RIAs must be
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Kamran Fotouhi Featured Panelist on Elder Care Issues
- April 19, 2019
- Posted by: giawatkins
- Categories: CFI News, FINRA
CFI Managing Director Kamran Fotouhi was a featured panelist at a recent Palm Beach County Estate Planning Council membership breakfast, where he discussed regulatory and financial issues related to Elder Care. The panel addressed fraud and elder abuse, and the resources currently available to prevent exploitation of vulnerable adults, including FINRA’s Securities Helpline for Seniors.
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CFI Sourced for Expertise on FINRA’s 529 Plan Initiative
- March 25, 2019
- Posted by: giawatkins
- Categories: FINRA, SEC
Slammed by Fines, Distributors Move to Fewer Share Classes, Simpler Sales Terms Article published on March 25, 2019 By Jill Gregorie Mounting regulatory pressure will push funds to slim down the number of share classes they make available, consultants say. Earlier this month, the Securities and Exchange Commission announced settlements with 79 advisory arms of broker-dealers
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Client Regulatory Alert: FINRA Extends Self-Reporting Deadline to April 30 for 529 Plan Share Class Initiative
- March 6, 2019
- Posted by: GA
- Category: FINRA
FINRA announced today, in connection with the agency’s 529 Plan Share Class Initiative (529 Initiative), that it has extended the deadline by which broker-dealers are required to self-report supervisory violations, and to provide FINRA with a plan to remediate harmed customers. In response, FINRA’s Department of Enforcement will recommend that FINRA accept a settlement that includes restitution for
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CFI / Eversheds 529 Plan Initiative Report Published by the National Society of Compliance Professionals
- March 1, 2019
- Posted by: giawatkins
- Categories: Critical Issues, FINRA
NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Understanding FINRA’s 529 Plan Share Class Initiative,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
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Capital Forensics, Inc. and Eversheds Sutherland Release In-Depth Report on FINRA’s Regulatory Notice 19-04 Regarding 529 Plan Self-Reporting Initiative
- February 21, 2019
- Posted by: giawatkins
- Categories: Compliance, FINRA
Many Broker-Dealers Still Unaware of Extent of the Information Required by FINRA; The CFI/ES 529 Report Outlines Steps for Firms, With Self-Reporting Deadline Looming PALATINE, Ill. and WASHINGTON, Feb. 21, 2019 /PRNewswire/ — Capital Forensics, Inc. (CFI) and Eversheds Sutherland (ES) announced today the publication of their in-depth Report that provides a detailed analysis of
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Client Regulatory Alert: FINRA Announces 529 Plan Self-Reporting Initiative with April 1st deadline
- January 29, 2019
- Posted by: giawatkins
- Category: FINRA
FINRA announced a self-reporting initiative to promptly compensate harmed investors and promote firms’ compliance with the rules regarding recommended transactions of 529 savings plans. Under the 529 Plan Share Class Initiative (529 Initiative), broker-dealers are encouraged to review their supervisory systems and procedures governing 529 plan share-class recommendations, to self-report supervisory violations, and to provide
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Comments Regarding Quantitative Suitability Under FINRA Rule 2111
- October 19, 2016
- Posted by: giawatkins
- Category: FINRA
Comments Regarding Quantitative Suitability Under FINRA Rule 2111. View article HERE.
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The Unique Role of Expert Witnesses in FINRA Employment Arbitrations
- October 19, 2016
- Posted by: giawatkins
- Category: FINRA
The Unique Role of Expert Witnesses in FINRA Employment Arbitrations
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As Finra’s Mutual Fund Waiver Sweep Continues, Medium and Small Broker-Dealers Are Targets
- October 22, 2017
- Posted by: giawatkins
- Categories: FINRA, Media
Investment News magazine published CFI Managing Director Kamran Fotouhi’s recommendations on how broker-dealers can address Finra’s mutual fund waiver.
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